AUDIT CHECKLIST

OHSAS 18001


4. Required elements for OH&S
(Occupational Health and Safety)
management systems




4.1 General requirements

Y

N

REMARKS
4.1-01













4.1-02







4.1-03






4.1-04






4.1-05






4.1-06







4.1-07

Are all the required elements for OHSAS 18001
included in the management system specific to the
organization?
General requirements
OH&S policy
Planning
Implementation and operation
Checking and corrective actions
Management review




Has the OH&S management system been
developed for the company and officially been
implemented?




Is the OH&S management system maintained and
continually updated?





Is the design and scope of the system adapted to
the size, complexity and risk potential of the
organization?




Is the OH&S management system suitable for
guaranteeing a continual improvement with regard
to output in the areas of safety and health?




Is the basic principle of prevention is better than
damage control firmly established and realized in
the system?




Is the area of application of the Labour Protection
management system/occupational Health & Safety
management system (OH&S MS established and
documented?









4.2 OH&S Policy

Y

N

REMARKS

4.2-01







4.2-01a






4.2-02




4.2-03


Is an occupational health and safety policy
established and implemented?





The Labour Protection/ OH&S-policy is
communicated to all persons, who work on behalf of
the organization




Does the organization's top management sufficiently
assume its role of promoter of the implementation of
the occupational health and safety policy?

Does the OH&S-policy contain statements on
the following issues:

nature and scale of the organization's OH&S
risks; the OH&S management system policy
must be appropriate

commitment to continual improvement


commitment to comply with current applicable
Labour Protection laws and other
requirements to which the organization
subscribes

documentation, implementation and
maintenance of the system

inclusion of all employees in the system


availability to all interested parties



periodical review of the OH&S management
system to ensure that it remains relevant and
appropriate to the organization










4.3 Planning

Y

N

REMARKS


4.3.1 Planning for hazard identification,
risk assessment and risk control


4.3.1-01






4.3.1-
01a


4.3.1.-
01b








4.3.1-02








4.3.1-03

















4.3.1-04



4.3.1-
04a

Are there written procedures for the
identification and assessment of hazards, and the
introduction and implementation of necessary
control measures?


The procedure to identify and assess hazards/risks
and the determination of controlled conditions are
documented.

The results of the identification and assessment of
hazards/risks as well as the determination of
controlled conditions are documented.

The hierarchy of measures (technical, before
organizational, before personal protection measures)
is an integral part in the identification and
assessment of hazards/risks.

Do these procedures include
routine and non-routine activities;
activities of all personnel having access to
the workplace (including subcontractors
and visitors);
facilities at the workplace, provided by the
organization or others?

Is the organization's methodology for hazard
identification and risk analysis and control adapted to
the following principles:
is it adjusted to the organization's risk
potential?
risk assessment method?
implementation of preventive and
corrective actions?
identification of requirements placed on the
facilities?
identification of need for instruction?
monitoring the introduced measures for
their compliance with the schedule and
effectiveness?

Are the results of assessment considered when
establishing the OH&S management system
objectives?

Legal and other requirements are considered in the
assessment of the hazards/risks.












Y

N

REMARKS

4.3.1-05




4.3.1-06

Is information laid down in writing and updated
continually?


In case of changes in the company the concerned
hazard identifications and assessments are
immediately adapted.





4.3.2 Legal and other requirements


4.3.2-01




4.3.2-02


4.3.2-03




4.3.2-04


4.3.2-05

Is there a documented procedure for identifying
and accessing the relevant legal and other labour
protection requirements?

Is information kept up-to-date continually?


Is relevant information communicated to the
organization's employees and other interested
parties?

Is the implementation of the legal requirements
continually monitored?

The other requirements to which the
organization has committed in regard to its
hazards/risks (which is e.g. self-commitments) are
established and accessible.




4.3.3 Objectives


4.3.3-01




4.3.3-
01a



4.3.3-02









4.3.3-03


4.3.3-04

Are occupational health and safety objectives
established and maintained for each function and on
all levels within the organization?

The objectives and targets are, insofar as
practicable, measurable.


When establishing and reviewing its objectives, does
the organization in particular consider
its legal and other requirements;
its hazards and risks;
its technical options;
its financial, operational and business
opportunities and requirements;
the views of interested parties?

Are the objectives consistent with the OH&S
policy?

Are the objectives consistent with the activities of
continual improvement?









4.3.4 Occupational Health and Safety
programme(s)

Y

N

REMARKS

4.3.4-01



4.3.4-02


4.3.4-03






4.3.4-04





4.3.4-05


Are the respective actions necessary for achieving
the objectives planned and documented?

Do these activities extend to all activities and to all
levels of the hierarchy in the organization?

Are
the competent persons,
the resources,
the targeted dates
defined for the individual actions?

Are the programmes reviewed with regard to their
modification index at regular intervals?




Are programmes up-dated if required?










4.4 Implementation and operation

Y

N

REMARKS



4.4.1 Structure and responsibility


4.4.1-01








4.4.1-02




4.4.1-03




4.4.1-04


4.4.1-05




4.4.1-06



4.4.1-07





4.4.1-08

Are all the OH&S management system relevant
responsibilities and authorities
defined;
coordinated with those concerned;
in the organization?


Are all the legal requirements regarding responsible
persons (representatives) defined for the
implementation of the OH&S management system?


Are the representatives duly appointed and if
required reported to the authority?


Are the representatives adequately qualified?


Are the representatives sufficiently supported
in assuming their responsibility by top management?


Are the representatives sufficiently active in
assuming their functions?


Are the resources necessary for establishing,
controlling and improving the labour protection
management system provided by top management?


Has a member of top management been
determined, who has also been entrusted with
supreme responsibility for the OH&S management?










4.4.2 Training, awareness and
competence

Y

N

REMARKS

4.4.2-01


4.4.2-02




4.4.2-03


4.4.2-
03a



4.4.2-
03b



4.4.2-
03c




4.4.2-
03d


4.4.2-05














4.4.2-06




4.4.2-07




4.4.2-08

Has the organization established documented
procedures for training and instruction?

Does this training system cover all the
organization's employees and is it adjusted to the
existing risk potential?

Does this training system also cover external
persons who are active on the premises?

Persons who work by order of the organization
and from whose activities considerably hazards
(may) arise, were and are identified.

These persons are adequately trained regarding the
objectives and defined operational procedures, and
are sensitized for possible consequences in the case
of noncompliance.

The organization demands that the contractors can
prove that they have the necessary skills or can
prove that the staff they employ have the required
training; the organization does this by spot checks.

The records on qualification measures (e.g. trainings
and other measures) of staff and persons, working by
order of the organization are kept on file.

Are the trainings performed at the right moment:
periodically;
after organizational and personnel changes;
in light of recent events (e.g. accidents or
near-misses and recognized unsafe
situations);
according to the action plans;
in case of new employees;
in case of job changes;
if case of employing external persons (e.g.
temporary workers)?

Is sufficient training documentation available?



Is considerable consideration given to the
employees motivation with regard to safety and
health relevant behaviour?


Do the employees have sufficient skills for the
performance of their activities?
















































































































4.4.3 Consultation and communication

Y

N

REMARKS

4.4.3-01












4.4.3-
01a






4.4.3-
01b



4.4.3-
01c


4.4.3-
01d



4.4.3-02


4.4.3-03


4.4.3-04


4.4.3-05

Is there a documented procedure for
communication within the organization and with
interested parties?
internally with employees and
representatives;
externally with public authorities and other
interested parties;
with contractors (external service
providers);

There is a procedure to systematically involve
employees in the identification and assessment of
hazards/risks of controlled conditions, in the
investigation of incidents as well as in the
development/revision of labour protection policy and
of the objectives.

Results of the involvement are an integral part of the
review by the management (management review).


Provided that it was decided to communicate aspects
of hazards externally, a method has been introduced
and realized.

External companies have been and are adequately
informed about changes of the Labour Protection/
OH&S management system.

Are specialists sufficiently involved in
communication?

Are meetings adequately documented, and are
interested parties informed?

Are the duties to furnish information as
prescribed by law fulfilled?

Is it guaranteed that employees are
involved in the development and review of
OH&S principles and procedures of risk
management;
consulted in case of changes having an
effect on occupational health and safety?
represented in OH&S management system
issues;
informed on their representation in these
issues?










4.4.4 Documentation

Y

N

REMARKS

4.4.4-01




4.4.4-02


4.4.4-03

Is the OH&S management system fully described in
sufficient documentation and is reference made to
connected documents?

Is the structure of the documentation efficient and
user friendly?

Does available documentation meet the existing
legal requirements?




4.4.5 Document and data control


4.4.5-01


4.4.5-02









4.4.5-03



4.4.5-04

Is a documented procedure for document control
established and maintained?

Does this procedure ensure that
only valid and released documents are
used;
the right documents are available on the
right place at the right time;
the documents and data are
understandable for everybody


Is the modification service guaranteed?


Is it guaranteed that archived documents and data
that are retained for legal reasons and/or for
preserving knowledge are suitably marked and that
a specified minimum retention time is adhered to?










4.4.6 Operational control

Y

N

REMARKS

4.4.6-01




4.4.6-02

Has the organization identified those operations
and activities that are associated with identified
risks where control measures need to be applied?

Are in this case
documented procedures established and
maintained where their absence could lead to
a break from the labour protection policy
and labour protection objectives;
operating criteria recorded;
suppliers and service providers informed
about these procedures in case they are
concerned;
procedures for the design of workplaces,
process, installations, machinery,
operating procedures and work
organization , including their adaptation to
human capabilities established and
maintained, in order to eliminate or reduce
labour protection risks at their source?



4.4.7 Emergency preparedness and
response


4.4.7-01



4.4.7-02


4.4.7-03



4.4.7-04





4.4.7-05



4.4.7-06

Has the organization established documented
procedures to identify possible incidents and
emergency situations?

Was an emergency preparedness and response
plans developed for an emergency situation?

Are the emergency preparedness and response
plans reviewed particularly after incidents or
emergencies?

Are the emergency preparedness and response
plans, where practicable tested and practiced
periodically, and are the findings that are obtained
incorporated into the existing emergency
preparedness and response plans?

Is preventive health protection (in-house preventive
medical examination) established?

Does the established preventive health protection
meet the statutory requirements?










4.5 Checking and corrective action

Y

N

REMARKS


4.5.1 Performance measurement and
monitoring


4.5.1-01



4.5.1-02























4.5.1-03


4.5.1-04

Does the organization establish and maintain a
documented procedure to monitor and measure
OH&S management system performance?

Does this procedure provide for:
both qualitative and quantitative
measurements according to the needs of the
organization?
monitoring to which extent the organization's
OH&S management system objectives
are met?
observe the OH&S management system
program and criteria for operational
sequences?
Monitoring of relevant legislation and
regulations?
Monitoring of accidents, illnesses,
incidents (including near-misses and unsafe
situations) and other evidence of a negative
OH&S management system performance?
recording of data and results of monitoring
and measurements sufficient to facilitate
subsequent corrective and preventive
action analysis?

Is equipment needed for performance
measurement?

Is this equipment monitored adequately?









4.5.2 Accidents, incidents, noncompliance
and corrective and preventive action

Y

N

REMARKS

4.5.2-01












4.5.2-02


4.5.2-03

Is a documented procedure established and
maintained in which responsibility and authority are
laid down for:
the handling and investigation of
accidents, near misses, unsafe situations
and other non-conformities;
the initiation and completion of corrective
and preventive actions;
confirmation of the effectiveness of
corrective and preventive actions?


Are the events sufficiently analyzed, so that the
true causes can be recognized?

Are all the changes of the documented procedures
that result from corrective and preventive action laid
down in writing?



4.5.2.1 Compliance with statutory and other
requirements


4.5.2.1-
04


4.5.2.1-
05


(e.g. self-commitment) is assessed internally on a
regular basis.


Records of this/these assessment(s) are
available and retained.










4.5.3 Records management

Y

N

REMARKS

4.5.3-01



4.5.3-
01a






4.5.3-02



4.5.3-03


4.5.3-04


4.5.3-05

Is it specified which records need to be maintained?


There is a procedure for systematic and regular
investigations of incidents to recognize deficits,
identify corrective actions, preventive actions and the
possibility for continual improvement. The results of
these investigations are recorded and communicated
(internally).

Are the records available as a whole so that the legal
evidencing obligations can be met?

Is it specified where what records can be found and
who is responsible for what record?

Are the retention times defined?


Is the availability of the records guaranteed during
the retention time (integrity of data)?










4.5.4 Internal Audit

Y

N

REMARKS
4.5.4-01


4.5.4-02



4.5.4-03
















4.5.4-04





4.5.4-
04-04a




4.5.4-05



4.5.4-06


4.5.4-07


4.5.4-08


4.5.4-09


4.5.4-10

Is a documented procedure defined for carrying out
an OH&S management system audit?

Is a systematic audit preparation conducted?
(planning, programme, check lists, selection of
auditors,..)

Does this plan sufficiently consider the following:
Complete audit of the overall system?
In all areas of the organization?
changes in the organization, procedures,
staff?
external and internal requirements?
focussed activities?
are audits carried out in coordination with
policy, the actions and the objectives and
targets?
risk potential of the areas?
Incidents such as accidents, near misses or
unsafe situations


Are internal auditors available for carrying out
audits? If so,
with adequate qualification?
in sufficient number?


The objectivity and impartiality of the auditors
are guaranteed by the selection of auditors. Internal
audits have been and are conducted in accordance
with BS OHSAS 18001:2007.

Are the audit results recorded?
Are actions derived from the audit results?
Are the actions followed-up until they are
completed?

Are the audit results communicated in an adequate
manner?

Are the auditors sufficiently independent of the
areas under audit?

Is the top management level (at least one
nominated member of top management) sufficiently
integrated in and informed about the internal
auditing?









4.6 OH&S Management Systems -
Management review

Y

N

REMARKS

4.6-01



4.6-02


4.6-03
















4.6-03a

























4.6-03 b



4.6-04


4.6-05

Is a documented procedure established and in use
for the review of the system?


Is the top management level integrated in the
reviewing process in a suitable way?

Does the reviewing process consider the following
items:
The holistic review of the results of all the
established objectives?
The efficiency and performance of the entire
system based on key performance indicators?
The audit results?
Internal factors such as organizational
changes, resources, new technologies and
products?
External factors as changes in the ambient
conditions, legislation and state of the art?


Does the input for the review also contain in addition
to the nine minimum entries:

a) Results of internal audits and reviews on
compliance with statutory and other
requirements
b) Results of the identification and assessment
of hazards/risks
c) Notification of external interested parties
including complaints
d) Labour protection/ OH&S services of the
organization
e) Scope of the achievement of objectives
f) Status of corrective and preventive actions
g) Status of the investigations of incidents,
corrective and preventive measures
h) Follow-up actions from earlier reviews by
the management
i) Changing frame work conditions including
legal developments
j) Results from the involvement of
employees
k) Suggestions for improvements

A management review according to BS OHSAS
18001-2007 was conducted.

Are actions and new objectives and targets derived
from the review output?

Is the review output adequately communicated
throughout the organization?